SEC

New-York

SEC Fines NYSE for rule violations

02/05/2014(0)
The New York Stock Exchange’s $4.5 million penalty for oversight violations represents the Securities and Exchange Commission’s first salvo since Michael Lewis reignited scrutiny of market structure. NYSE, which ... Read More
onestopbrokers-Accounting

A look on FASB’s new standards

30/04/2014(0)
In December 2002, five months after he became chairman of the Financial Accounting Standards Board, Robert Herz told a conference of auditors that FASB had set a “very ambitious” ... Read More

Northern Trust Reports SEC Subpoena on Securities Lending

29/04/2014(0)
Northern Trust Corp. (NTRS), the third-biggest independent custody bank, said it received a subpoena from the U.S. Securities and Exchange Commission in April related to the company’s securities lending. ... Read More
ebay_marketplaces

SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay

28/04/2014(0)
The U.S. Securities and Exchange Commission (SEC), has charged a former executive with insider trading in advance of eBay’s acquisition of the e-commerce company where he worked by tipping ... Read More
Retirees fish from a public dock on the Sacramento River in the Sacramento San Joaquin River Delta in Rio Vista, California

SEC Charges San Diego-Based Investment Adviser

16/04/2014(0)
The U.S. Securities and Exchange Commission has announced charges against a San Diego-based investment advisory firm, its chief executive officer, chief compliance officer, and another employee for misleading investors ... Read More
SEC-charges-pair-of-brokers

SEC charges brokerage firm

15/04/2014(0)
The US Securities and Exchange Commission has announced another round of charges in its ongoing case against several individuals involved in a massive kickback scheme to secure the bond ... Read More
TAX-REFORM-US

Exclusive: SEC eyes test that may lead to shift away from ‘dark pools’

11/04/2014(0)
U.S. securities regulators are considering testing a proposed reform that could drive business to major stock exchanges and away from alternative trading venues such as “dark pools” that critics ... Read More
goldman_sachs_logo_door

SEC Goldman Lawyer Says Agency Too Timid on Wall Street Misdeeds

09/04/2014(0)
A trial attorney from the Securities and Exchange Commission said his bosses were too “tentative and fearful” to bring many Wall Street leaders to heel after the 2008 credit ... Read More
SEC Probes Threat From Cyber

SEC Probes Threat From Cyber Attacks Against Wall Street

27/03/2014(0)
The U.S. Securities and Exchange Commission is examining the exposure of stock exchanges, brokerages and other Wall Street firms to cyber-attacks that have been called a threat to financial ... Read More
law_firms

SEC Charges Stockbroker and Law Firm Managing Clerk

20/03/2014(0)
The Securities and Exchange Commission charged a stockbroker and a managing clerk at a law firm with insider trading around more than a dozen mergers or other corporate transactions ... Read More
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